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Swan Global Investments, LLC CRD 114669
$2.39B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1099 Main Ave Suite 206, Durango, CO 81301 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2025-01-01 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Object Publishing Software, Inc. | Seattle | WA | 02/1999 | Present |
I AM CURRENTLY INVOLVED AS A DIRECTOR OF OPERATIONS AND PART OWNER OF OBJECT PUBLISHING SOFTWARE, INC. IN SEATTLE, WASHINGTON. OUR PRIMARY BUSINESS IS IN PROVIDING PRINT PUBLISHING AUTOMATION SERVICES TO BUSINESSES AND INDIVIDUALS. I HAVE BEEN INVOLVED WITH THIS COMPANY FOR OVER 10 YEARS AND WILL CONTINUE MY INVOLVEMENT AT APPROXIMATELY 10 HOURS PER WEEK UNTIL SUCH TIME THAT WE SELL THE COMPANY OR CLOSE THE DOORS AND GO OUT OF BUSINESS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-12-22 |
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